Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02856 Jerry Luther Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jerry Luther, hereinafter referred to as "Claimant": Milton H. Fried, Esq., Woska & Hayes, LLP, Kingwood, Texas. For Morgan Stanley DW Inc. ("MSDW") hereinafter re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Keith Peterson, individually, and as Trustee of the Keith Peterson Trust, Rose Peterson, individually, and Carol Whetshine as Trustee of the Rose Peterson Trust and Case Number: 05-02845 Hearing Site: Omaha, Nebraska Names of Respondents Raymond James Financial Services, Inc. and William Henry Jordan, III NATURE OF DISPUTE Customers v. Membe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Gerald Krause v. 05-02844 Minneapolis, Minnesota Respondents Feltl and Company, Inc. and John Feltl NATURE QY DISPUTE Associated Person v. Member and Associated Person OF PARTIES Gerald Krause ("Claimant") was represented by Robert C. Moilanen, Esq., of Zimmerman Reed, P.L.L.P., Minneapolis, Minnesota. Feltl and Company, Inc. ("Feltl and Company") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02836 The George C. Moench Charitable Remainder Trust Dr. George C. Moench, Trustee Names of the Respondents Hearing Site: Tampa, Florida Ameriprise Financial Services Ruth Gordon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The George C. Moench Charitable Remainder Trust, Dr. George

^NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02820 Andrea Kirshenbaum and Susan P. Kleinman, (Claimants) vs. PTI Securities & Futures, LP, (Respondent) ATTORNEYS: Claimants appeared pro se, Northbrook, IL and Evanston, IL. For Respondent appeared in-house counsel, Lawrence H. Kelch, Chicago, IL. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 26, 2005 CASE SUMMARY: Claimants alleged that Respondent executed an order th

CASE: 05-02797 John and Joan Tomaszewski, (Claimants) vs. Dougherty & Company LLC, (Respondent) ATTORNEYS: Claimants appeared pro se, Nutley, NJ. For Respondent appeared in-house counsel Thomas J. Abood, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 24, 2005 CASE SUMMARY: Claimants alleged that Respondent failed to disclose the terms of redemption on the purchase of a Pennsylvania Housing Finance Agency Bond. Claimants

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02791 Ryan Beck & Co., Inc., (Claimant) vs. Martin Pesin, (Respondent) ATTORNEYS: ~ For Claimant appeared in-house counsel Jeffrey B. Cohen, Esq., Livingston, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 26, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay m

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kenneth Hunter, Dorothy Hunter, and Sally Hunter v. Case Number: 01-00555 Hearing Site: Detroit, Michigan Respondents Sigma Financial Corporation, Mariner Financial Services, Inc., Jerome S. Rydell, Michael J. Brooks, Larry J. Mathewson, J. Will Paul, William Gregg, Dennis Brown, Robert Boone, Clark F. Colton, Jr., and Kenneth Warnick

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02777 James D'Amico, (Claimant) vs. William P. Chien and CyperVest Securities, Inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Acnorth, GA. Respondent William P. Chien did not submit an Answer to the Statement of Claim. Respondent CyperVest Securities, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Terminated Member and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02763 Morgan Stanley DW Inc. Name of the Respondent Hearing Site: Boca Raton, Florida David W.Hausdorff Nature of the Dispute: Member vs. Associated Person, REPRESENTATION OF PARTIES For Morgan Stanley DW Inc., hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane and Fischer, Ltd., Chicago, Illinois. Respondent David W. H